Stinson Leonard Street Dodd Frank

MAKING SENSE OF DODD-FRANK

The Dodd-Frank Act has broad and deep implications that will touch every corner of financial services and multiple other industries. This site, developed and maintained by attorneys at Stinson Leonard Street, is dedicated to making sense of this complex legislation and helping businesses understand how it will affect them specifically. Our Bloggers »

Latest Dodd-Frank Posts

SEC Publishes 11 Regulation A+ CD&Is

Question mark

Public Companies and Securities The SEC has published 11 Compliance and Disclosure Interpretations related to Regulation A+ — numbered 182.01 through 182.11 under Securities Act Rules.  Highlights are: Twitter is allowed for testing the waters!  Conditions include that the communication contains an active hyperlink to the required statements that otherwise satisfy Rule 255 and, where possible, the communication prominently... Read more →

by   |   June 23, 2015

crowdfunding arrow

First Regulation A+ Offering Document Appears on EDGAR

Public Companies and Securities Perhaps the first Regulation A+ offering document has appeared on EDGAR.  According to the documents it is a Tier 2 offering for up to $50,000,000.  The offering circular states... Read more →

by   |   June 22, 2015

accountant2

SEC Exams to Focus on Sales of Retirement Products

Broker-Dealer, Investment Advisers The SEC Office of Compliance Inspections and Examinations, or OCIE, has launched a multi-year Retirement-Targeted Industry Reviews and Examinations (ReTIRE) Initiative.  OCIE is... Read more →

by   |   June 22, 2015

SEC logo

SEC Provides Guidance on Definition of “Spouse” and “Marriage”

Investment Advisers, Municipal Advisors, Public Companies and Securities The SEC has provided guidance on the definition of “spouse” and “marriage” in the wake of United States v Windsor.  That case held Section 3 of the Defense of Marriage... Read more →

by   |   June 20, 2015